Verona, WI Prairie Heights Dr Office
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OSAIC
Institution
Firm-wide stats for OSAIC
About
Osaic Wealth, Inc. serves a broad mix of retail and institutional clients — including individual and high‑net‑worth investors, pension and profit‑sharing plans, corporations, and charitable organizations — through a large network of affiliated financial advisers and multiple advisory platforms. The firm offers integrated brokerage and investment advisory services, financial planning, retirement plan consulting, unified managed accounts, advisor‑managed portfolios, and access to third‑party money managers and wrap programs.
The firm’s advisers use firm‑provided asset‑allocation tools, risk‑tolerance questionnaires, efficient‑frontier analysis, and automated rebalancing to construct portfolios that may include stocks, bonds, options, mutual funds, ETFs and alternative investments; accounts can be managed on either a discretionary or non‑discretionary basis and clients may impose reasonable investment restrictions. Osaic also supports legacy platform programs and transitions (including accounts transferred from prior mergers) and makes available third‑party services such as Envestnet and SEI for model and managed‑account solutions.
What is noteworthy about Osaic relative to many peers is its complex corporate and platform footprint — including multiple mergers that consolidated broker‑dealer and RIA businesses, significant private‑equity ownership, and an established connection to an alternative‑investment distribution platform — and its use of a variety of third‑party commercial arrangements (revenue sharing, platform payments and other referral or structuring arrangements). The firm has also disclosed multiple regulatory enforcement matters in recent years (including SEC orders and penalties) and maintains advisor recruitment and transition programs and lender‑linked services (sweep and lending arrangements and advisor loan/acceleration incentives) that create identifiable conflicts of interest which the firm discloses and says it manages.
Based on OSAIC
Expertise
Based on OSAIC
Location
351 Prairie Heights Dr
Verona WI 53593
Advisors at this office
3
Advisors at this office
Heidi S
Series 66
Verona, WI
OSAIC
Heidi Schultz is a Series 66-credentialed financial advisor with 16 years of industry experience. She has been with Osaic since 2024 and previously worked for Woodbury Financial Services, Inc. for 14 years. Outside of her advisory work, she is a member of Baker Schultz Tax and Financial LLC and owns Lattice CPA, both of which provide tax preparation and accounting services. Osaic Wealth, Inc. serves a diverse client base, including individuals, high-net-worth investors, pension and profit-sharing plans, corporations, and charitable organizations. The firm offers integrated brokerage and advisory services through a large network of advisers, utilizing various portfolio construction tools and third-party managed-account solutions.
Marcus O
Series 66
Verona, WI
OSAIC
Marcus Ott is a financial advisor at Osaic Wealth, Inc. with three years of industry experience. He holds a Series 66 designation and has worked with several firms, including Woodbury Financial Services and Baker Schultz Tax & Financial, where he provides tax preparation and planning services as an enrolled agent. Osaic Wealth, Inc. serves a diverse client base, including individuals, high-net-worth investors, pension plans, corporations, and charitable organizations. The firm offers a range of services such as brokerage and investment advisory, financial planning, retirement plan consulting, and managed account solutions, utilizing various portfolio construction tools and third-party platforms.
Dennis B
CFP®, Series 63, Series 66
Verona, WI
OSAIC
Dennis Baker is a CFP® professional with 34 years of industry experience, currently serving at OSAIC since 2024. His prior experience includes long tenures at Woodbury Financial Services, Inc., Baker & Launder Financial Services LLC, and Componex Corporation. Outside of his advisory work, he is involved in managing a solar energy project benefiting a nonprofit ice arena and participates in several business ventures related to tax preparation and commercial real estate management. Osaic Wealth, Inc. serves a diverse client base including individuals, high-net-worth investors, pension plans, corporations, and charitable organizations through a large network of affiliated advisers. The firm offers integrated financial services and employs asset-allocation tools and third-party platforms to support a range of investment products and strategies.
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